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Brandon Michael Moody

Thompson Investment Advisors

Louisville, KY

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Current Employers
Thompson Investment Advisors

1000 Cherokee Road, Louisville, KY 40204-4270 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-12-12
TN RA APPROVED 2022-11-16
TX RA APPROVED 2022-04-06
IN RA APPROVED 2021-11-09
KY RA APPROVED 2021-01-25
  • MN RA
    APPROVED
    Since 2024-12-12
  • TN RA
    APPROVED
    Since 2022-11-16
  • TX RA
    APPROVED
    Since 2022-04-06
  • IN RA
    APPROVED
    Since 2021-11-09
  • KY RA
    APPROVED
    Since 2021-01-25

Branch Locations

1000 Cherokee Road, Louisville, KY 40204-4270 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Aquila Distributors, Llc. New York NY 03/2014 12/2020
Thompson Investment Advisors Louisville KY 01/2021 Present
Thompson Investment Advisors Louisville KY 01/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-08
S63 Uniform Securities Agent State Law Examination 2008-04-21
  • S66 Uniform Combined State Law Examination
    2021-01-08
  • S63 Uniform Securities Agent State Law Examination
    2008-04-21
Other Names
  • Brandon Moody

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
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WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
PNC WEALTH MANAGEMENT LLC · Louisville, KY
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LPL FINANCIAL LLC · LOUISVILLE, KY
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